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The Investment Management Institute 2002: A Seminar for '40 Act Lawyers
Chair(s):
Barry P. Barbash, Paul F. Roye
Practice Area:
Banking and finance,
Corporate law,
Securities and other financial products
Published:
May 2002
i
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ISBN:
1402401418
PLI Item #:
192492
CHB Spine #:
B1308
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Front Matter
Table of Contents
Chapter 1. OUTLINE OF LEGAL AND STRUCTURAL ISSUES PERTAINING TO ISSUING AND TRADING EXCHANGE TRADED FUNDS
Chapter 2. GOVERNANCE ISSUES OF MUTUAL FUNDS UNDERLYING LIFE INSURANCE COMPANY SEPARATE ACCOUNTS
Chapter 3. VARIABLE CONTRACT SUBSTITUTIONS: AN EVOLVING LANDSCAPE
Chapter 4. PARTIOTISM COMES TO BROKER-DEALERS
Chapter 5. AGGREGATION OF ORDERS AND ALLOCATION OF TRADES
Chapter 6. AN ADVISER'S DUTY TO SUPERVISE SUB-ADVISERS
Chapter 7. REGULATION OF INVESTMENT ADVISERS BY THE SECURITIES AND EXCHANGE COMMISSION [FNa1]
Chapter 8. SUMMARY OF COMMENTS ON ELECTRONIC FILING BY INVESTMENT ADVISERS; PROPOSED AMENDMENTS TO FORM ADV UNDER THE INVESTMENT ADVISERS ACT OF 1940
Chapter 9. RECENT DEVELOPMENTS IN LITIGATION UNDER THE INVESTMENT COMPANY ACT OF 1940
Chapter 10. ADVISER FRAUD AND FAILURES TO DISCLOSE CONFLICTS OF INTEREST
Chapter 11. FREQUENTLY ASKED QUESTIONS ABOUT RULE 35d-1 (INVESTMENT COMPANY NAMES)
Chapter 12. FREQUENTLY ASKED QUESTIONS ABOUT MUTUAL FUND AFTER-TAX RETURN REQUIREMENTS
Chapter 13. THE REGULATION OF TECHNOLOGY-ENABLED INNOVATIONS
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